JH
Joseph T. Hake
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5399279
JH
Professional summary
Joseph Thomas Hake, CFP®, who also goes by Joe Thomas Hake, is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Boston, Massachusetts and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Thomas Hake
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Thomas Hake's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 7, 2022 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Office #1: 290 Congress Street, Boston, MA 02210RIA
CRD#: 108257
Boston, MA
Current
October 7, 2022 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress St, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
August 13, 2015 - October 5, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEWPORT BEACH, CA
Past
January 30, 2012 - July 14, 2015
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
SAN FRANCISCO, CA
Past
June 18, 2010 - January 12, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CHICAGO, IL
Past
June 18, 2010 - January 12, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICAGO, IL
Past
June 1, 2009 - June 21, 2010
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
June 1, 2009 - June 21, 2010
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
Past
December 1, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHICAGO, IL
Past
October 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHICAGO, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
Registered Investment Advisory firm - (12/20/1985 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/7/2022)
RR
Alaska(10/7/2022)
IAR
Alaska(10/7/2022)
RR
Arizona(10/7/2022)
IAR
Arizona(10/17/2022)
RR
Arkansas(10/7/2022)
RR
California(10/7/2022)
IAR
California(10/7/2022)
RR
Colorado(10/7/2022)
IAR
Colorado(10/7/2022)
RR
Connecticut(10/7/2022)
RR
Delaware(10/7/2022)
RR
District of Columbia(10/7/2022)
RR
Florida(10/7/2022)
RR
Georgia(10/7/2022)
RR
Hawaii(10/7/2022)
IAR
Hawaii(10/7/2022)
RR
Idaho(10/7/2022)
IAR
Idaho(10/7/2022)
RR
Illinois(10/7/2022)
RR
Indiana(10/7/2022)
RR
Iowa(10/7/2022)
RR
Kansas(10/7/2022)
RR
Kentucky(10/7/2022)
RR
Louisiana(10/7/2022)
RR
Maine(10/7/2022)
RR
Maryland(10/7/2022)
RR
Massachusetts(10/7/2022)
IAR
Massachusetts(10/12/2022)
RR
Michigan(10/7/2022)
RR
Minnesota(10/7/2022)
RR
Mississippi(10/7/2022)
RR
Missouri(10/7/2022)
RR
Montana(10/7/2022)
IAR
Montana(10/7/2022)
RR
Nebraska(10/7/2022)
RR
Nevada(10/7/2022)
IAR
Nevada(10/21/2022)
RR
New Hampshire(10/7/2022)
RR
New Jersey(10/7/2022)
RR
New Mexico(10/7/2022)
IAR
New Mexico(10/11/2022)
RR
New York(10/7/2022)
RR
North Carolina(10/7/2022)
RR
North Dakota(10/7/2022)
RR
Ohio(10/7/2022)
RR
Oklahoma(10/7/2022)
RR
Oregon(10/7/2022)
IAR
Oregon(10/24/2022)
RR
Pennsylvania(10/7/2022)
RR
Puerto Rico(10/7/2022)
RR
Rhode Island(10/7/2022)
RR
South Carolina(10/7/2022)
RR
South Dakota(10/7/2022)
RR
Tennessee(10/7/2022)
RR
Texas(10/7/2022)
RR
Utah(10/7/2022)
IAR
Utah(10/11/2022)
RR
Vermont(10/7/2022)
RR
Virgin Islands(10/7/2022)
RR
Virginia(10/7/2022)
RR
Washington(10/7/2022)
IAR
Washington(10/7/2022)
RR
West Virginia(10/7/2022)
RR
Wisconsin(10/7/2022)
RR
Wyoming(10/7/2022)
IAR
Wyoming(10/7/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
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Contact information
Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
Phone number
(800) 225-2365
Established
Firm type
Fiscal year end
# of Employees
910
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,061 |
| AUM (Assets Under Management) | $ 457,482,709,435 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257Boston, MA 02210TRUST BUT VERIFY
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